Kleinberg Kaplan's Litigation, Risk Management and Arbitration Group provides a broad range of services to our clients. Our litigators often work closely with our corporate, real estate, bankruptcy, tax and trusts and estates attorneys in the structuring and preparation of transactions with the goal of minimizing litigation risks. We have developed a significant expertise in litigation avoidance, including advising our clients with respect to the retention, discovery and use of electronic evidence.

Litigation for Hedge Funds and other Investment Funds

Our litigators handle many diverse and complex issues on behalf of the hedge funds and other private investment funds we represent, both at the litigation and pre-litigation stages, including:

• Disputes regarding complex financial instruments
• Enforcing investors' rights when issuers refuse to comply with their obligations
• Maximizing a creditor's, bondholder's, or preferred stockholder's claims in bankruptcy proceedings
• Pursuing and defending claims arising in the context of corporate control contests
• Defending against actions on behalf of issuers seeking to recover claimed “short swing” profits
• Pursuing claims against issuers and their control persons for securities law violations and fraud in connection with investments in those issuers
• Enforcing contractual rights, such as to receive a commitment fee, to have a right of first refusal or to receive a make-whole payment
• Enforcing and defending against claims for brokerage commissions
• Enforcing and defending claims arising from the assignment of debtors' trade claims
• Responding to SEC, FINRA (formerly NASD) and other regulatory subpoenas and investigations and preparing our clients for their testimony

Commercial Litigation

Our litigation, risk management and arbitration group has substantial expertise and experience in many types of commercial matters, including those related to:

• Contractual obligations and claims
• Claims of fraud and breach of fiduciary duty
• Executive employment and non-compete agreements
• License agreements and other intellectual property issues
• Lease provisions, property use claims and other real estate-related matters
• Bankruptcy and creditors' rights matters, including matters in which the debtor is seeking the refund of pre-petition payments
• Undue influence and other will contests and estate matters
• Taking discovery or other ancillary actions in the United States in aid of foreign litigations in Europe and Asia

Arbitration and Mediation

Kleinberg Kaplan's litigators are also highly experienced in alternative dispute resolution matters, including commercial, construction and securities mediation and arbitration in both domestic and international contexts. Our practice includes:

• Representing domestic and international corporations in domestic and international arbitrations, including complex construction disputes
• Participating, as arbitrators, or as counsel to domestic and international claimants or respondents, in over 120 arbitrations
• Representing securities brokerage firms in disputes with clearing brokers, subordinated lenders, principals, customers, traders and other brokerage firms and parties
• Representing customers and registered representatives or principals in disputes with brokerage firms and third parties subpoenaed in arbitrations
• Handling various arbitration-related court proceedings such as actions to compel or stay arbitrations, to obtain or defeat injunctions in aid of arbitration, to enforce or set aside arbitration awards and to enforce or quash subpoenas